DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

R•••••••• F•••••••• S••••••• I••

Former SEC-registered adviserLawrence, KansasCRD 107083SEC 801-41865IAPD
Latest filing Mar 25, 2021
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
$359M
reported, Item 5.F
Discretionary
4.5%
of RAUM
Private clients
100%
$359M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$359M as of Mar 25, 2021
Mar 28, 2012$147M then
HNW client RAUM$306M as of Mar 25, 2021
Mar 29, 2018$200M then
State-registered IARs (5.B.3)2 as of Mar 25, 2021
Mar 28, 20120 then
Employees (5.A)3 as of Mar 25, 2021
Mar 28, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2021; every figure names its basis
RAUM per advisor
$180MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
120derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$207,404derivedRAUM over accounts (5.F.2.f)
Discretionary
4.5%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.4%derived
Compensation
hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$306M85%
  • Individuals$53.6M15%
Individual clients
121reported
HNW clients
118reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,732reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••••••• C••••• A•• · President/Chief Compliance Officercontrol
      since 06/1992 · owns 75% or more
    • S••••••••• N•••••• A••••• · Secretary/Treasurer
      since 01/1996 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,699 to 1,732
      Jun 15, 2020 to Mar 25, 2021
    • BD registered reps · 2 to 3
      Jun 15, 2020 to Mar 25, 2021
    • HNW clients · 117 to 118
      Jun 15, 2020 to Mar 25, 2021
    • Individual clients · 123 to 121
      Jun 15, 2020 to Mar 25, 2021
    • Employees · 2 to 3
      Jun 15, 2020 to Mar 25, 2021
    • Discretionary RAUM · $16.3M to $16.3M
      Jun 15, 2020 to Mar 25, 2021
    • HNW RAUM · $263M to $306M
      Jun 15, 2020 to Mar 25, 2021
    • Individual RAUM · $49.5M to $53.6M
      Jun 15, 2020 to Mar 25, 2021
    • Non-discretionary RAUM · $297M to $343M
      Jun 15, 2020 to Mar 25, 2021
    • RAUM · $313M to $359M
      Jun 15, 2020 to Mar 25, 2021
    • Accounts · 1,688 to 1,699
      May 21, 2019 to Mar 27, 2020
    • HNW clients · 137 to 117
      May 21, 2019 to Mar 27, 2020
    • Individual clients · 101 to 123
      May 21, 2019 to Mar 27, 2020
    • Discretionary RAUM · $11.1M to $16.3M
      May 21, 2019 to Mar 27, 2020
    • HNW RAUM · $185M to $263M
      May 21, 2019 to Mar 27, 2020
    • Individual RAUM · $56.9M to $49.5M
      May 21, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $231M to $297M
      May 21, 2019 to Mar 27, 2020
    • RAUM · $242M to $313M
      May 21, 2019 to Mar 27, 2020
    • Advisory employees · 3 to 2
      Mar 26, 2019 to May 21, 2019
    • BD registered reps · 3 to 2
      Mar 26, 2019 to May 21, 2019
    • Employees · 3 to 2
      Mar 26, 2019 to May 21, 2019
    • State-registered IARs · 3 to 2
      Mar 26, 2019 to May 21, 2019
    • Accounts · 1,610 to 1,688
      Jan 2, 2019 to Mar 26, 2019
    • HNW clients · 84 to 137
      Jan 2, 2019 to Mar 26, 2019
    • Individual clients · 157 to 101
      Jan 2, 2019 to Mar 26, 2019
    • Discretionary RAUM · $16.6M to $11.1M
      Jan 2, 2019 to Mar 26, 2019
    • HNW RAUM · $200M to $185M
      Jan 2, 2019 to Mar 26, 2019
    • Individual RAUM · $66.1M to $56.9M
      Jan 2, 2019 to Mar 26, 2019
    • Non-discretionary RAUM · $249M to $231M
      Jan 2, 2019 to Mar 26, 2019
    • RAUM · $266M to $242M
      Jan 2, 2019 to Mar 26, 2019
    • Accounts · 498 to 1,610
      Jun 26, 2017 to Mar 29, 2018
    • Charity clients · unset to 0.0
      Jun 26, 2017 to Mar 29, 2018
    • Corporate clients · unset to 0.0
      Jun 26, 2017 to Mar 29, 2018
    • HNW clients · unset to 84.0
      Jun 26, 2017 to Mar 29, 2018
    • Individual clients · unset to 157.0
      Jun 26, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 0.0
      Jun 26, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 0.0
      Jun 26, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Jun 26, 2017 to Mar 29, 2018
    • Discretionary RAUM · $15.6M to $16.6M
      Jun 26, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 199872345.0
      Jun 26, 2017 to Mar 29, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026